Frank White

Frank White

Foley & Lardner LLP

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Helping your family (even a little) is a violation of the Advisers Act?

Is an “Ask” a Violation of the Advisers Act? Yes, it can be a violation to “put in a good word” for one of your family members. On January 5, 2023, the Securities and Exchange Commission (the SEC) entered into an Offer of...more

1/12/2023  /  Fraud , Investment Adviser , Investment Advisers Act of 1940 , Portfolio Managers , Securities and Exchange Commission (SEC) , Settlement
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